Standards/Manuals/Guidelines For Small Hydro Development

STANDARDS/MANUALS/GUIDELINES FOR
SMALL HYDRO DEVELOPMENT

1.4
GENERAL:
Reports Preparation:
Reconnaissance, Pre-feasibility, Feasibility/ Detailed Project
Report and As Built Report
Sponsor: Lead Organization:

Ministry of New and Renewable Energy Alternate Hydro Energy Centre
Govt. of India Indian Institute of Technology Roorkee
August 2013

Contact:
Dr Arun Kumar
Alternate Hydro Energy Centre,
Indian Institute of Technology Roorkee,
Roorkee - 247 667, Uttarakhand, India
Phone : Off.(+91 1332) 285821, 285167
Fax : (+91 1332) 273517, 273560
E-mail : aheciitr.ak@gmail.com, akumafah@iitr.ernet.in
DISCLAIMER
The data, information, drawings, charts used in this standard/manual/guideline has been
drawn and also obtained from different sources. Every care has been taken to ensure that the
data is correct, consistent and complete as far as possible.
The constraints of time and resources available to this nature of assignment, however do not
preclude the possibility of errors, omissions etc. in the data and consequently in the report
preparation.
Use of the contents of this standard/manual/guideline is voluntarily and can be used freely
with the request that a reference may be made as follows:
AHEC-IITR, 1.4 General: Report Preparation: Reconnaissance, Prefeasibility, Feasibility/

Detailed Project Report and As built Report, standard /manual/guideline with support from
Ministry of New and Renewable Energy, Roorkee, August 2013.
Standards/ Manuals/Guidelines series for Small Hydropower Development
General
1.1 Small hydropower definitions and glossary of terms, list and scope of different
Indian and international standards/guidelines/manuals
1.2 Planning of the projects on existing dams, Barrages, Weirs
Part I
1.2 Planning of the Projects on Canal falls and Lock Structures.
Part II
1.2 Planning of the Run-of-River Projects
Part III
1.3 Project hydrology and installed capacity
1.4 Reports preparation: reconnaissance, pre-feasibility, feasibility, detailed project
report, as built report
1.5 Project cost estimation
1.6 Economic & Financial Analysis and Tariff Determination
1.7 Model Contract for Execution and Supplies of Civil and E&M Works
1.8 Project Management of Small Hydroelectric Projects
1.9 Environment Impact Assessment
1.10 Performance evaluation of Small Hydro Power plants
1.11 Renovation, modernization and uprating
1.12 Site Investigations
Civil works
2.1 Layouts of SHP projects
2.2 Hydraulic design
2.3 Structural design
2.4 Maintenance of civil works (including hydro-mechanical)
2.5 Technical specifications for Hydro Mechanical Works
Electro Mechanical works
3.1 Selection of Turbine and Governing System
3.2 Selection of Generator
3.3 Selection of Switchyard
3.4 Monitoring, control, protection and automation
3.5 Design of Auxiliary Systems and Selection of Equipments
3.6 Technical Specifications for Procurement of Generating Equipment
3.7 Technical Specifications for Procurement of Auxiliaries
3.8 Technical Specifications for Procurement and Installation of Switchyard
Equipment
3.9 Technical Specifications for monitoring, control and protection
3.10 Power Evacuation and Inter connection with Grid
3.11 Operation and maintenance of power plant
3.12 Erection Testing and Commissioning

PREAMBLE
There are series of standards, guidelines and manuals available on electrical,

electromechanical aspect of moving machines and hydro power related issues from Bureau of
Indian Standards (BIS), Rural Electrification Corporation Ltd (REC), Central Electricity
Authority (CEA), Central Board of Irrigation & Power (CBIP), International
Electromechanical Commission (IEC), International Electrical and Electronics Engineers
(IEEE), American Society of Mechanical Engineers (ASME) and others. But most of these
are developed keeping in view the large water resources/ hydropower projects. Use of the
standards/guidelines/manuals is voluntary at the moment. Small scale hydropower projects
are to be developed in a cost effective manner with quality and reliability. Therefore a need to
develop and make available the standards and guidelines specifically developed for small
scale projects was felt.
Alternate Hydro Energy Centre, Indian Institute of Technology, Roorkee initiated the
exercise of developing standards/guidelines/manuals specifically for small scale hydropower
projects under the sponsorship of Ministry of New and Renewable Energy, Government of
India, in 2006. The available relevant standards / guidelines / manuals were revisited to
suitably adopt them for small scale hydro projects. These have been prepared by experts in
their respective fields. Wide consultations were held with all stake holders covering
government agencies, government and private developers, equipment manufacturers,
consultants, financial institutions, regulators and others through web, post and meetings.
After taking into consideration the comments received and discussions held with the lead experts
the standards/guidelines/manuals are now prepared and presented in this publication.
The experts have drawn some text and figures from existing standards, manuals, publications
and reports. Attempts have been made to give suitable reference and credit. However, the
possibility of some omission due to oversight cannot be ruled out. These can be incorporated in
our subsequent editions.
These standards / manuals / guidelines are the first edition. We request users of these to send
their views / comments on the contents and utilization to enable us to review these after about
one year of its publication.
PERSONS INVOLVED
1. Dr Arun Kumar, Professor Chair (Renewable Energy) and CSO & Principal
Investigator, AHEC, IIT, Roorkee
2. Dr S K Singal, SSO & Investigator,AHEC,IIT, Roorkee
Drafting Group
1. Mr. S.K. Tyagi, Consultant, Roorkee

2. Mr Ajai K. Singh, UJVNL, Dehradun
Consultation Group
1. Dr Arun Kumar,AHEC,IIT, Roorkee

2. Dr S K Singal,AHEC,IIT, Roorkee
3. Mr. D. K. Agrawal, Consultant, Roorkee
CONTENTS
TITLE PAGE NO.
REPORTS PREPARATION: RECONNAISSANCE, PRE-FEASIBILITY, FEASIBILITY/

DETAILED PROJECT REPORT AND AS BUILT REPORT
1.0 GENERAL 1
1.1 Scope 1
1.2 References 1
1.3 Description of Different Types of Reports 2
1.3.1 Reconnaissance Report 2
1.3.2 Pre Feasibility Report 2
1.3.3 Feasibility / Detailed Project Report 2
1.3.4 As Built Report 3
2.0 RECONNAISSANCE REPORT 3

Chapter 1 Introduction 3
Chapter 2 Topography 3
Chapter 3 Hydrology 3
Chapter 4 Infrastructure 3
Chapter 5 Location of Civil Structure 3
Chapter 6 Installed Capacity 3
Chapter 7 Environmental Impact Assessment Preliminary 4
Chapter 8 Cost Estimate Preliminary 4
Chapter 9 Drawing 4
3.0 PRE FEASIBILITY REPORT(FORMAT) 4

Chapter 1 Executive Summary 4
Chapter 2 General Information 4
Chapter 3 Investment for Small Hydro Projects in India 4
Chapter 4 Site Information 4
Chapter 5 Technical Analysis 5
Chapter 6 Preliminary Design of the Project 5
Chapter 7 Preliminary Financial Analysis 5
Chapter 8 Conclusion 5
4.0 FEASIBILITY/DETAILED PROJECT REPORTS (FORMAT) 5

Chapter 1 Introduction 6
Chapter 2 Basic data 6
Chapter 3 Survey and investigations 6
Chapter 4 Geological and Geotechnical Investigations 6
Chapter 5 Hydrology 6
Chapter 6 Power Potential & Installed Capacity 7
Chapter 7 Civil Works 7
Chapter 8 Electro Mechanical Works 7
Chapter 9 Construction Planning 8
Chapter 10 Project Organisation 8
Chapter 11 Environmental And Ecological Aspects Questionnaire Issues By 8
The Department Of Environment For River Valley Projects
TITLE PAGE NO.
Chapter 12 Contribution of Small Hydropower in Carbon-Di-Oxide 8

Emission Reduction
Chapter 13 Cost Estimates 8

Chapter 14 Financial and Economic Studies 8
Chapter 15 Conclusions and Recommendations 9
List of personnel involved 9
Annexure 9
Drawings 9
5.0 AS BUILT REPORT (FORMAT) 9

Chapter 1 Project Description 9
1.1 Scope 9
Chapter 2 Implementation Arrangements 10

2.1 Financing 10
2.2 Consulting Services 10
2.3 procurement 10
2.4 Project Implementation Organization 10
Chapter 3 Project History 10

3.1 Preparation 10
3.2 Appraisal 10
3.3 Implementation 10
Chapter 4 Evaluation of Implementation 11

4.1 Project Components 11
4.2 Project Costs 11
4.3 Project Schedule 11
4.4 Procurement of Goods and Services 11
4.4.1 Engagement of consultant 11
4.4.2 Procurement of goods & services 11
4.5 Performance of Consultants / Contractors / Suppliers 12

4.5.1 Performance of consultants 12
4.5.2 Performance of contractors and suppliers 12
4.5.3 Performance of Borrower /Executing Agency 12
4.5.4 Performance of bank 12
4.6 Conditions and Covenants for Loan Agreement 12
Chapter 5 Environmental Impact 13
Chapter 6 Project Benefits 13
Chapter 7 Conclusion and Recommendation 13

7.1 Conclusion 13
TITLE PAGE NO.
7.2 Recommendations 13
7.2.1 Project Related 13
7.2.2 General 13
7.3 List of Documents to be Annexed 14
LIST OF ANNEXURE
TITLE PAGE NO.
Annexure-I Format of Check List 15

Annexure-II Salient Features for Power Projects (Storage Based) 18
Annexure-III Salient Features for Power Projects ( Run of River Diversion 21
Scheme)
Annexure-IV Salient Features for Power Projects 25
(Canal Fall / Sewage / Water Supply Outfall Scheme)

REPORTS PREPARATION:
RECONNAISSANCE, PRE-FEASIBILITY, FEASIBILITY/ DETAILED
PROJECT REPORT AND AS BUILT REPORT
1.0 GENERAL
Small hydro project (SHP) projects harness energy from flowing or falling water from
rivers, rivulets artificially created storage dams or canal drops. SHPs have the potential to
provide energy to remote and hilly areas where extension of grid as well as transportation of
diesel is uneconomical.
Similarly in plains large irrigation networks, diversion structures and small dams are
either existing or under development. These existing structures are also used for generation of
electricity.
For development of a SHP project, studies and field investigations at various levels
are carried out involving following phases:
Reconnaissance visit of proposed project site

Pre Feasibility report
Feasibility reports/DPR (Detailed Project Report)
Pre construction investigations
Detailed design, planning, award of civil contracts, selection and procurement of
electro-mechanical equipment, execution of civil works, installation of E&M
equipment, testing, commissioning and commercial operation
After execution and commissioning of Project preparation of As built Report
1.1 Scope
This document covers the guide lines for report preparation at following stages:
Reconnaissance Report
Pre Feasibility Report
Feasibility / Detailed Project Report
As Built Report
1.2 References
R1. Govt. of India, Ministry of Guide lines for preparation of detailed project reports of
Water Resources-2010 Irrigation and multipurpose Projects
R2. CEA, New Delhi-2002 Guide lines for preparation of project reports for Power
Projects
R3. CEA, New Delhi-1982 Guide lines for development of Small Hydroelectric
Schemes
R4. CEA, New Delhi- Guide lines for formulation of detailed project reports for
2012(Rev 3.0) Hydroelectric schemes, their acceptance and examination
for concurrence
AHEC-IITR/MNRE/SHP Standards/ General Report Preparation: Reconnaissance, Pre-feasibility,

Feasibility/DPR, As Built Report 1

1.3 Description of Different Types of Reports
1.3.1 Reconnaissance report
The purpose of a site reconnaissance report is to gain an understanding of site

characteristics, potential issues as well as solutions, and inputs to site selection of the main
project structures.
Prior to undertaking a site reconnaissance visit, available data should be reviewed and
preliminary conceptual layout prepared and laid out on available mapping for guidance
during the field visit. It is further recommended that an outline of the preliminary studies
report with a check list be prepared before going to the field. This will help to identify
important information that is required during the site visit for firming the site selection.
The site visit provides an opportunity to obtain an appreciation of site topography,

flow regime, geology, socio and economic condition, access for roads and transmission lines.
From these on-site observations it is often possible to identify practical locations for
temporary facilities, head-works, desilting tank and powerhouse and to decide the side (left or
right bank) of the river best suited for routing of the waterways, preliminary access roads and
transmission line (T.L.) routes. These locations, their elevations and co-ordinates can be
determined with portable GPS equipment. GPS equipment capable of giving elevation and
spatial measurement with accuracies of +/- 0.3m and 1.0 m respectively (or better) should be
used. It is also recommended that the visiting team include at least three professionals: a
hydrologist, an engineering geologist/geotechnical engineer and a hydropower engineer. It is
also recommended that the team includes local representatives whose practical knowledge of
the area and people would be invaluable. This initial contact could also be an opportunity for
developing the interest and support of local residents for the project. Typically, a field visit
will require 1-3 days depending on the remoteness, size and complexity of the site.
1.3.2 Pre feasibility report
A Pre-feasibility report is a document that provides preliminary details on the

technical and economic feasibility of a project. Before conducting detailed technical and
economic studies, pre-feasibility research does a first level evaluation of a project, using the
most important evaluation parameters of technical feasibility, economic evaluation and
identification of critical issues with possible solution. Pre-feasibility reports are useful
because they provide a first-level inference at low cost and within a short duration. On the
other hand, detailed feasibility studies take much longer and take many months for
completion.
1.3.3 Feasibility / detailed project report
Feasibility Report (FR)/ Detailed Project Report (DPR) is a key document for
obtaining different clearances/ approvals and taking investment decision to develop a small
hydro power project. Feasibility report is known as detailed project report in India and covers
all aspects of development of a projects including justification for the project, site
specifications based on survey and investigation of the location, hydrology for the project,
reservoir requirements, design for civil structures, electrical and mechanical designs, details


of the transmission system for evacuating the power from the project, infrastructure facilities,
environmental and ecological aspects, cost estimates, financial analysis and implementation
schedule of the project.
1.3.4 As built report
As Built Report of any SHP should be prepared after commissioning of the Project.
The Report should include all the details of the actual executed project components,
specifications, drawings, testing reports including technical, financial and other aspects.
2.0 RECONNAISSANCE REPORT
Reconnaissance report is required (a) to obtain an appreciation of site topography,

general hydrology, geology and access for roads, (b) to gain an understanding of site
characteristics, potential problems as well as solutions, and (c) input for the site selection for
the main project structures. From these on-site observations it is often possible to identify
practical locations for temporary facilities, head-works, desilting tank and powerhouse and to
decide the side of the river best suited for routing of the water conductor system, preliminary
access roads and transmission line (T.L.) routes. The report may content following:
- Table of contents
- Relevant photographs
- CHAPTER-1 INTRODUCTION
Location, climatic conditions and reference of the development etc.
- CHAPTER-2 TOPOGRAPHY
General information, catchment area with elevations, proposal for topographical

surveys
- CHAPTER-3 HYDROLOGY
Precipitation, snowfall and other available hydrological data.
- CHAPTER-4 INFRASTRUCTURE
Infrastructural facilities available and required facilities suggested for implementation
- CHAPTER-5 LOCATION OF CIVIL STRUCTURES
Diversion works, desilting chamber, water conductor system, fore bay, penstock,
Power house building and switchyard area.


- CHAPTER-6 INSTALLED CAPACITY
Determination of head and discharge. Estimated installed capacity and number of

units.
- CHAPTER-7 ENVIRONMENTAL IMPACT ASSESSMENT PRELIMINARY
General comments, resettlement and agricultural activities, deforestation required,

effect on flora and fauna, social and health impact of project construction if any and post
project commissioning impact.
- CHAPTER-8 COST ESTIMATE PRELIMINARY
Broad Estimated cost and cost of generation.
- CHAPTER-9 DRAWINGS
Location Map, Catchment area plan, Schematic Layout,
3.0 PRE FEASIBILITY REPORTS (FORMAT)
Pre feasibility report should be prepared before taking up detailed investigations of

the project to establish that the scheme conceived is worth going ahead for further
investigations and that is technically and economically feasible. The report may content:
Table of Contents
Relevant photographs
- CHAPTER-1 EXECUTIVE SUMMARY
- CHAPTER-2 GENERAL INFORMATION
2.1 Electricity Sector of India

2.2 Policy Towards SHPs either for Government Owned Entity or Private Owned
entity
2.3 Related organization and their role
2.4 State Government Organization roles
2.5 Central Government Organization roles
2.6 Renewable Energy Programs by Government
2.7 Regulatory bodies role
2.8 CDM Applicability
2.9 Reference and context of the project
- CHAPTER-3 INVESTMENT FOR SMALL HYDRO PROJECTS IN INDIA


3.1 Investment potential and opportunities

3.2 Power Purchasing and regulations
- CHAPTER-4 SITE INFORMATION

4.1 Location
4.2 Access
4.3 Stream
- CHAPTER-5 TECHNICAL ANALYSIS
5.1 Site Selection (study of the available options of project layout)

5.2 Hydrology (Get the discharge by direct measurement, from the nearby streams. See
the locations of meteorological stations from the project and data availability.)
5.3 Power Potential
5.4 General Geology
5.5 Availability of construction material
5.6 Basic Environmental Study on the basis of availability of secondary data
- CHAPTER-6 PRELIMINARY DESIGN OF THE PROJECT
6.1 Civil Construction

6.2 Electromechanical Equipment
6.3 Grid Interconnection
6.4 Cost Estimation
- CHAPTER-7 PRELIMINARY FINANCIAL ANALYSIS
7.1 Capital Cost

7.2 Income Generation
7.3 Economics of the Project considering the IRR, NPV, DSCR aspects
7.4 Tariff in respect of Regulatory norms or captive use, if any
- CHAPTER-8 CONCLUSION AND RECOMMENDATION
Recommendations for the suitability of the project, whether the developer should go
for execution of the project or drop the project.
4.0 FEASIBILITY/DETAILED PROJECT REPORT (FORMAT)
The Detailed Project Report (DPR) should be presented in a format such that it can be
easily reviewed at various technical and administrative levels and should be written in lucid
and straight forward manner so that decision for clearances and investment can be taken. It
may also be called for investment decision. The report should start with
Table of contents


Check list (Format for check list given as Annex I)
Salient feature (Formats for Dam based, diversion and canal fall schemes are as Annex II,
Annex III and Annex IV respectively)
Relevant photographs
Covering the catchment, location of all major components, nearby locality and nearby
major land marks.
CHAPTER 1 INTRODUCTION
1.1 General
1.2 Project Sponsor
1.3 Power Sector Development in India and policy
1.4 Incentives and support available from various organisations
1.5 Policy of concerned state
1.6 Project Objectives
1.7 Ownership and prepared development plan
CHAPTER 2 BASIC DATA
2.1 Location
2.2 Topography
2.3 Access
2.4 Climate and Temperature
2.5 Climate and Temperature
2.6 River Basin
2.7 Catchment Area
2.8 Geology and Seismicity
CHAPTER 3 SURVEY AND INVESTIGATIONS
3.1 Topographical Surveys

3.2 Hydrological Surveys
3.3 Meteorological Surveys
3.4 Water Quality
3.5 Sediment details
3.6 Construction materials investigation
3.7 Muck disposal surveys
3.8 Geological Investigations
3.9 Survey of Transmission Line for Power Evacuation to the Nearest Grid Substation
CHAPTER 4 GEOLOGICAL AND GEOTECHNICAL INVESTIGATIONS
4.1 Introduction
4.2 Geomorphology and Physiography
4.3 Regional Geology


4.4 Geology of the Project Area

4.5 Geotechnical Appraisal of Project Components
4.6 Geotechnics
4.7 Concluding Remarks
CHAPTER 5 HYDROLOGY
5.1 Basin Characteristics

5.2 Catchment Area
5.3 Rainfall
5.4 Temperature and Humidity
5.5 Run-Off
5.6 Water Availability
5.7 Design Flood, Design Flood Levels etc.
5.8 Gauge-Discharge Curve
5.9 Sediment characteristics and quality of sediment
CHAPTER 6 POWER POTENTIAL & INSTALLED CAPACITY
6.1 Type of Power Plant i.e. run of river (with or without diurnal storage) or storage type
6.2 Assessment of Power Potential.
6.3 Optimisation of storage, FRL, MDDL lean period capabilities etc. in case of storage
schemes.
6.4 Month wise, 10-daily availability of power and energy peaking capabilities
6.5 Optimisation of installed capacity and unit size studies
CHAPTER 7 CIVIL WORKS
7.1 General
7.2 Dam, Diversion Barrage, Weir and Intake
7.3 Feeder Channel
7.4 Desilting Tank
7.5 Power Channel
7.6 Head Race Tunnel
7.7 Surge Tank
7.8 Penstock
7.9 Power House
7.10 Tail Race Channel
7.11 Approach Road
7.12 Construction material
7.13 Details of instrumentation of various structures
7.14 Muck Disposal
7.15 Explosives
CHAPTER 8 ELECTRO MECHANICAL WORKS
8.1 General
8.2 Selection of Turbine and number of units


8.3 Details of model studies

8.4 Generator (Type of Generator) and Excitation System
8.5 Main Inlet Valve
8.6 Governing System
8.7 Electrical Control, Protection and Metering
8.8 Main Step Up Transformer
8.8 Generator Transformer Connections
8.9 Switchyard Equipment and Single Line Scheme
8.10 Station Auxiliaries Mechanical and Electrical Both
8.10 Transmission of Power and Communication
CHAPTER 9 CONSTRUCTION PLANNING
9.1 Introduction
9.2 Pre-Construction Activities
9.3 Construction Materials
9.4 Manufactured Items
9.5 Construction of Civil Works
9.6 Construction Programme
9.7 Muck Disposal Plan
CHAPTER 10 PROJECT ORGANISATION
10.1 Proposed Organisation Setup for Project execution and operation

10.2 Details of the Proposed set up for;
(i) Civil Works
(ii) Electrical & Mechanical Works
(iii) Administrative & Financial Setup
(iv) Others
10.3 Pre Construction organisation

10.4 Consultants
10.5 Monitoring and reporting schedule
CHAPTER11 ENVIRONMENTAL AND ECOLOGICAL ASPECTS

QUESTIONAIRE ISSUES BY THE DEPARTMENT OF
ENVIRONMENT FOR RIVER VALLEY PROJECTS
11.1 Detailed Basic Information Affecting the Environment

11.2 Environment Status
11.3 Environmental Impacts
11.4 Cost of Environmental Studies and Project Management
CHAPTER 12 CONTRIBUTION OF SMALL HYDROPOWER IN CARBON- DI-

OXIDE EMISSION REDUCTION
12.1 General
12.2 Reduction of Carbon Emission by the Present Scheme


12.3 Renewable Purchase Obligation and Renewable Energy Certificate
CHAPTER 13 COST ESTIMATES
13.1 General
13.2 Abstract of Cost
CHAPTER 14 FINANCIAL AND ECONOMIC STUDIES
14.1 Estimates of Cost and Phasing

14.2 Generation Cost
14.3 Project Financing
14.4 Working Capital
14.5 Repayment of Loan
14.6 Sales Price/ Tariff
14.7 Internal Rate of Return
CHAPTER 15CONCLUSIONS AND RECOMMENDATIONS
15.1 Conclusions
15.2 Reduction of Carbon Emission by the Present Scheme
15.3 Recommendations
LIST OF PERSONNEL INVOLVED
ANNEXURES
Following annexures are required to be appended
Annex I : Detail design of different civil works components

Annex II : Schedule of rates for civil works items
Annex III : Estimation of quantities and cost of Civil works
Annex IV : Drawings
List of drawings
Drawings as per list to be enclosed
5.0 AS BUILT PROJECT REPORT (FORMAT)
During process of execution of Project many alterations are done as per site
conditions and system requirements. These alterations are required to be documented in the
form of a report containing details of alterations and as executed drawings with technical
justifications for the same. This type of as built report is essential for future guidance for
effective operation and maintenance of plant. The report should briefly cover all technical,
financial and other relevant aspects which can be summarized as follows:


CONTENTS
RELEVANT PHOTOGRAPHS OF EXECUTED WORKS
CHAPTER-1 PROJECT DESCRIPTION
1.1 Scope
Detailed scope of Project including initial and as-executed capacity of the Project and
location of the plant including power station, switchyard and other appurtenant structures.
CHAPTER-2 IMPLEMENTATION ARRANGEMENTS
2.1 Financing
Details about all the actual information shall be covered under this heading. This
should not include any financial calculations and analysis.
2.2 Consulting Services
Details of all the departments / consultants engaged during the Project execution shall
be included under this heading (either for package / items etc).
2.3 Procurement
This sub section should give information regarding the department responsible for
procurement of goods & services and also whether the procurement was done on EPC route
or package scheme? Whether ICB (International Competitive Bidding) or NCB (National
Competitive Bidding) or LCB (Local Competitive Bidding) was followed?
2.4 Project Implementation Organization
This sub section should give information regarding the departments responsible for
execution / implementation of Civil, HM and E&M portions of the Project.
CHAPTER-3 PROJECT HISTORY
3.1 Preparation
This part of the report should include the brief history of the Project i.e. from
inception to financial closure.
3.2 Appraisal


This part of the report shall give the insight about the efforts made during the
appraisal of the Project and changes made in the DPR including the experts
recommendations, if any.
3.3 Implementation
This part should include the following:
a. Details about financial closure

b. Brief of the Progress of the Project including the problems encountered during
various phases of the project & the remedial measures
c. Completion of the Project
d. Final Payment details
e. Contract Closure details (if achieved before the report preparation)
CHAPTER-4 EVALUATION OF IMPLEMENTATION
4.1 Project Components
Details about Project Components:
a. Construction of Small Hydro Power Plant : Capacity & Location;

b. Construction of Sub-station / Switchyard of various voltage levels;
c. Construction of transmission line (if any);
d. Provision of distribution network equipment (if required);
e. Provision of offices etc.
As-built salient features to be annexed.
Alterations, deviations made in various erection drawings during process of
erection, testing and commissioning should be marked in the as executed drawings and
kept in records for future reference after completion of the project
4.2 Project Costs
a. Comparison of the estimated cost as per DPR and actual cost incurred on the
Project;
b. Comparison of taxes and duties of estimate and actual shall also be analysed;
c. Effect of delay in Project (if any) i.e. cost overrun or early completion of the
Project shall be analysed in the overall Project cost (details to be annexed);
d. Effect of actual cost on the tariff shall also be analysed with the estimated
tariff (detail calculation to be annexed with reference to the latest tariff
regulations);
e. Economic and financial evaluation of the Project should once again be
performed (calculation of NPV, IRR, B/C ratio to be annexed).
4.3 Project Schedule
a. Reviewing the factors envisaged in the DPR for delay in the critical activities
considered during the formulation of Project Schedule;


b. Studying the effect of any activity which has diverted the critical path of the
Project Schedule;
c. Comparison of Projected Schedule and Actual Schedule should be done
considering major activities;
d. All delays either in finalization of loan, consultants, procurement,
implementation etc should be specifically covered under this head;
e. Delay in construction either in Civil, HM or E&M shall also be covered with
details;
f. Transportation delays shall also be included in analysis of the Project
Schedule;
g. Any force majeure conditions shall be covered specifically.
4.4 Procurement of Goods and Services
4.4.1 Engagement of consultant
a. Reasons for engagement of Consultants
b. Scope of work
c. Procedural details and approvals
4.4.2 Procurement of goods & services
a. Route for invitation of the bids (ICB, NCB, LCB)

b. Details of lots for procurement of equipment
c. Procedural details and approvals
d. Any deletion / addition of equipment during the execution
4.5 Performance of Consultants / Contractors / Suppliers
4.5.1 Performance of consultants
a. Total man-months envisaged for consultancy job in the estimate;

b. Actual man-months contracted with the consultant for the execution of the
Project as per the scope of consultancy services;
c. Final man-months details after commissioning of the Project;
d. Comparison of the all the above details;
e. Analysis of delays in the consultancy jobs
4.5.2 Performance of contractors and suppliers
a. Details about the contractors engaged for the implementation of the Project;
b. Co-ordination between the Contractor & Sub-Contractors/Vendors and role of
the Contractors in resolving the issues;
c. Credits to the Contractors for completion of the Project (if before time);
4.5.3 Performance of borrower /executing agency
This section shall provide details about the performance of the Borrower /Executing
Agency.


4.5.4 Performance of bank
a. Time taken by the bank in the financial closure;

b. Disbursement of the requisitions;
c. Monitoring by the bank during execution of the Project;
d. Co-operation in the sanctioning the additional loans in the interest of the
Project due to cost overrun or any other reason.
4.6 Conditions and Covenants for Loan Agreement
4.6.1 Details about the conditions and covenants (a formal binding agreement / contract) for
loan agreement not adhered to and deviated;
4.6.2 Details about the conditions and covenants for various contracts signed for execution
of the Project not adhered to and deviated;
4.6.3 Any other issue;
4.6.4 Status of the above should be annexed.
4.6.5 Disbursement of loan
4.6.5.1 Comparison of phasing of loan with the actual disbursement of loan.
4.6.5.2 The manner in which loan proceeds were allocated and the actual utilization under
various categories were made should be annexed with the report.
CHAPTER-5 ENVIRONMENTAL IMPACT
Actual impact of construction and operation of SHP along with Switchyard on the
environment;
Comparison and status of the following:
a. Land use/erosion/sedimentation due to encroachment on watershed forests;

b. Fisheries development and reduction of downstream fisheries;
c. Difficulties of resettlement of farmers displaced from the Project area
(including power station, dam and other structures);
d. Soil salinization or water logging;
e. Measures taken to augment environment against the development of the
Project;
f. Any other issue related to environment.
CHAPTER- 6 PROJECT BENEFITS
i. Commercial Date of Operation the Units & Power Station along with the
performance of the units as per contract;
ii. Total energy generation from the project till the drafting of the as-built report;
iii. Benefits from the Project to the nearby area and families;
iv. Effect of the Project on the local grid;
v. Employment generation from the Project (direct or indirect);
CHAPTER-7 CONCLUSION AND RECOMMENDATIONS
7.1 Conclusion


Satisfaction of the authorities regarding the execution and overall progress of the
Project. Overall rating of the Project in terms of technical and financial details. Development
of the society and environment.
7.2 Recommendations
7.2.1 Project Related
i. Future Monitoring
ii. Covenants
iii. Further Actions or Follow-up and Additional Assistance
iv. Any other as specific to the Project
7.2.2 General
i. Project Appraisal (DPR)

ii. Project Implementation
7.3 List of Documents to be Annexed
7.3.1 Chronology of Events

7.3.2 Salient Technical Features of the Project
7.3.3 General Layout of Dam and Appurtenances
7.3.4 Cross Section of the Power House
7.3.5 Project Cost Estimated vs Actual
7.3.8 Implementation Schedule Projected vs Actual
7.3.9 Design Changes on Dam & Power Station
7.3.9 Design change in Electro-mechanical systems
7.3.10 Major Contract Packages
7.3.11 Compliance with the Covenants
7.3.12 Disbursement Projected vs Actual
7.3.13 Loan Proceeds Allocation vs Utilization
7.3.14 Plant Operational Record
7.3.15 Financial Analysis
7.3.16 Tariff Calculation
7.3.17 Economic Analysis
7.3.18 As-built drawings of Civil, HM and E&M
All the reports may be prepared in standard A4 size documents alongwith the
drawings in A4/A3/A2/A1 size (as per need and readability) in print copy as well as doc.,
dwg, jpeg and pdf formats etc. stored in CD/server.


ANNEXURE-I
FORMAT OF CHECK LIST

1. NAME OF THE PROJECT :
(i) State :
(ii) District :
(iii) Taluka /Tehsil :
(iv) Sub Tehsil :
(v) Nearest Village :
2. PLANNING
Have the alternative proposals been studied and :
their merits and demerits discussed?
Have the detailed topographical survey been carried out for the following items and drawings
prepared as per prescribed scales?
(i) Stream surveys :

(ii) Head work surveys :
(Weir or diversion structure)
(iii) Plant site and camp site :
(iv) Water conductor system :
(v) Powerhouse, switchyard, tailrace :
(vi) Penstock, Surge shaft :
(vii) Communication etc.
3. GEOLOGY
Have the geological surveys for head works, :

powerhouse, tailrace etc. been carried out and
report on general geology of the area and on
geology of the sites of principal structures appended?
4. FOUNDATION INVESTIGATION
Have the foundation investigation for the major :

civil structures and of the schemes etc been carried out?
5. MATERIAL SURVEYS
Have the surveys and laboratory test for :

construction material like previous and Impervious
soil sand aggregate etc and carried out?


6. HYDROLOGICAL & METEOROLOGICAL INVESTIGATIONS
Have the hydrological and meteorological investigations been carried out and status
of data discussed in report
(i) Rainfall in the catchment :
(ii) Gauge and discharge data of the stream :
7. HYDROLOGY
Have hydrological survey been carried out to establish the availability of water for the
benefits envisaged and what is the dependability of the potential?
8. LAND ACQUISITION & RE-SETTLEMENT (wherever applicable)
Have the provisions for land acquisition been :

considered?
Have the socio-economic problems involved :
in re-settlement been investigated and discussed?
9. DESIGN
Has the layout of the project area viz. location :

of diversion, structures, water conductor system,
Powerhouse and tailrace been finalized? :
Have the preliminary designs been prepared for the following components
(a) Diversion weir :

(b) Penstock and water conductor system :
(c) Power house and switchyard :
(d) Powerhouse equipment, LT Ht switching :
equipment and control and protection
equipment
10. POWER BENEFITS
Have the following points discussed?

(i) Total energy production and installed :
capacity of the grid system
(ii) How does the scheme fit into overall :
development of power of the region?
(iii) Energy generated from the project, firm :
power, seasonal power and total power.
(iv) Proposal of transmission and or :
connecting the existing system
(v) Cost of generation per kW installed as per :
kWh generated as compared to the


various micro-hydel projects and

various services in the region to
justify the economic variability
of scheme
11. CONSTRUCTION PROGRAMME
Are the major components of work projects to be done departmentally or through contractor?
Have the year / month wise quantities of the following items been worked out for various
components of the project (Total quantity)
(i) Excavation soft and hard strata :
(ii) Earth work in filling :
(iii) Stone for masonry :
(iv) Coarse aggregate for concrete :
(v) Steel of various size and type of :
reinforcement
(vi) Cement :
(vii) Controlled items steel, special steel for :
penstock
(viii) Other material POL( Petroleum, oil and lubricants),
electricity, explosives etc :
12. COST ESTIMATES
(a) Is the estimate prepared? :

(b) Have the analysis of rates for: items /
various major items and the components :
of the project been furnished with analysis
and the price index at which estimate is based?
13. ECOLOGICAL AND ENVIRONMENTAL ASPECTS:
Is the area likely to have any environmental and :

Ecological problems due to the alternate surface
water pattern and preventive / corrective measures discussed?
14. CAMPS AND BUILDINGS
Has the provisions for camps / building made? :
15. SOIL CONSERVATION
Is the need for soil conservation measures in the :

project discussed?


ANNEXURE-II
SALIENT FEATURES FOR POWER PROJECTS (STORAGE BASED)
I. GENERAL
1. Name of Project
2. Location
(a) State :
(b) District :
(c) Village :
(d) Access :
Nearest Rail Head :
Nearest Airport
3. Geographical Coordinates
(a) Longitude :
(b) Latitude :
(d) Reference toposheets
(Survey of India) :
4. Hydrology
(a) Name of tributary :

(b) Main river
(c) Catchments area : ------ sq.km
(d) Average rain fall : ------ mm
(e) Maximum flood discharge : ------ cumecs
(f) Annual 90% dependable discharge : ------ cumecs
(g) Design flood for :
(i) Spillway, (ii) Safe free board, (iii) Diversion
II. PROJECT FEATURES

1. Type of Dam
(a) Height of dam above river bed, above deepest foundation level
(b) Live Storage : -----MMC
(c) Dead storage : -----MMC
(d) Evaporation losses : -----MMC
(e) Top of Road : ------RL (m)
(f) River bed : ------RL (m)
(g) Pond level : ------RL (m)
(h) HFL : ------RL (m)
(i) Dead storage level : ------RL (m)


2. Spill Way
(a) Type
(b) Clear water way length
(C) Gates- number, type and size
(d) Crest level : -----RL (m)
(e) Energy dissipation device- type
3. Submerged area in hectares
(a) Forest
(b) Cultivated
(c) Waste
(d) Habitation-submerged number of villages, buildings and families affected
4. Total land to be acquired in hectares
(a) Permanent total (for head works, power house and power channel/tunnel)
(b) Temporary total (for head works, power house and power channel/tunnel)
5. Intake works
Head Regulator (overall length, number and size of spans, number and size of gates,
crest level)
6. Sedimentation tank
Size of silt settling tank, size of hoppers, bottom level of conduits, design discharge
for flushing, full supply in tanks, particle size to be removed
7. Power tunnel
Shape, length and diameter, thickness of lining, design discharge, invert elevation (at
inlet, at surge tank), Grade.
8. Surge Tank
Type, size, top level of surge tank, bottom level of surge tank, height of riser.
9. Penstock
Main penstock length and diameter, thickness of lining, design discharge, unit
penstock number, length, diameter and thickness of lining.
10. Power House
Location, type, size, head (gross head, net head, design head and discharge), installed
capacity, number and type of turbine & generators


11. Tail race channel
Size, type and length of tail race channel, crown elevation at outlet.
12. (a) Firm power,

(b) Peaking capacity and
(c) Annual Energy Generation (in MU): at--% load factor
13. Estimates of Cost

(a) Total Cost : Rs. --------million
(i) Cost of Civil works : Rs. ------- million
(ii) Cost of E & M equipment : Rs. -------- million
(iii) Other expenses : Rs. -------- million
(iv) Transmission system : Rs. -------- million
(v) Cost of installation per kW : Rs. -------- million
14. Generation Cost Rs. /kWh
Without Subsidy/incentive :
With Subsidy/ incentive :
With CDM / RPO/REC benefits :
With Subsidy/incentive and CDM benefits :


ANNEXURE-III
SALIENT FEATURES FOR POWER PROJECTS

(RUN OF RIVER DIVERSION SCHEME)
I. GENERAL
1. Name of the Project
2. Location of Dam
(a) State :
(b) District :
(c) Village :
(d) Access :
Nearest Rail Head :
Nearest Airport :
(a) Longitude :
(b) Latitude :
(c) Altitutde :
(e) Reference toposheets :
(Survey of India)
4. Hydrology
(a) Name of stream :

(b) Catchments area : -----sq.km
(c) Main river :
(d) Maximum flood discharge : -----cumecs
(e) Type of stream :
(f) 100% dependability flow : -----cumecs
(g) 75% dependability flow : -----cumecs
(h) 50% dependability flow : -----cumecs
(i) 25% dependability flow : -----cumecs
II. PROJECT FEATURES

1. Weir and Intake
(a) Type :
(b) Shape :
(c) Crest Level : El. ----- m
(d) MWL/FRL : El. ----- m
(e) Number of Bays :
(f) Intake Channel :


2. Feeder Channel
(a) Shape :
(b) Material :
(c) Bed slope :
(d) Bed width : ---- m
(e) Water depth : -----m
(f) Length : ---- m
(g) Design discharge : ----m3/s
(h) Free board : ---- m
3. Desilting Tank
(a) Size of tank : Length ---- m, width ----m

(b) Transition length (upstream) : ---- m
(c) Transition length (downstream) : -----m
(d) Material :
(e) Particle size to be removed : ----mm
(f) Silt disposal outlet : ----mm dia pipes
(g) Design discharge : ----- cumecs
(h) Free board : ----- m
4. Power Channel
(a) Shape :
(b) Material :
(c) Bed slope :
(d) Bed width : m
(e) Water depth : m
(f) Length : m
(g) Design discharge : m3/s
(h) Free board : m
5. Head Race Tunnel (If Applicable)
(a) Length : m
(b) Diameter / shape :
(c) Type & thickness of lining :
6. Surge Tank (If Applicable)
(a) Type :
(b) Diameter : m
(c) Height above orifice : m
(d) Orifice dia : m


7. Penstock
(a) Type / Material : Steel grade E 250 (Fe 410 W)

(b) Main Penstock
(i) No. of pipe :
(ii) Length : m
(iii) Diameter : m
(iv) Thickness :
(v) Design discharge : cumec
(c) Branching near power house

(i) No. of Pipe : nos.
(ii) Length : m
(iii) Diameter : m
(iv) Thickness : mm
8. Power House
(a) Type : Surface power house

(b) Gross Head : m
(c) Net Head : m
(d) Design Head : m
(e) Installed Capacity : kW
(f) Size : --- m x ---- m x--- m
(g) Machine Hall Floor Level :
(h) Erection Bay Floor Level :
9. Turbine
(a) Type :
(b) Number :
(c) Capacity : -----kW each at generator
terminal
10. Type of Generator
(a) Type : Synchronous

(b) Nos. :
(c) Capacity : ----- kW each
11. Tailrace Channel
(a) Length : ---- m

(b) Size : --- m x ---m rectangular
12. Annual Energy Generation (in MU) : --- MU at--% load factor


(a) Total Cost : Rs. -------- million

(i) Cost of Civil works : Rs. ------- million
(b) Cost of installation per kW : Rs.


ANNEXURE-IV
SALIENT FEATURES FOR POWER PROJECTS

(CANAL FALL/SEWAGE /WATER SUPPLY OUTFALL SCHEME)
I. GENERAL
1. Name of the Project :
2. Location of Dam
(a) State :
(b) District :
(c) Village :
(d) Access :
Nearest Rail Head :
Nearest Airport :
(a) Longitude :
(b) Latitude :
(c) Altitutde :
(e) Reference toposheets :
(Survey of India)
4. Hydrological Parameters
a) Gross Head : m
b) Net Head : m
c) Maximum discharge : m3/sec
d) Rated Discharge for both units : m3/sec
e) Installed Capacity : kW
f) Average Annual Generation : MU
5. Technical Particulars of Different Hydraulic and Mechanical Components
5.1 Main Canal
Length : m
Width : m
Bottom elevation upstream : m
Bottom elevation downstream : m
Rated flow : 5 m3/s
5.2 Main Canal Upstream
Highest water elevation : m

Lowest water elevation : m


Minimum upstream water depth : m

Upstream level with fully closed
main canal gates : m
Width : m
Bottom elevation : m
5.3 Main Canal Downstream
Width : m
Highest water elevation : m
Lowest water elevation : m
Downstream level with fully
closed main canal gates : m
5.4 Main Canal Gate
No. of Main Canal Gates : ---

Width : m
Height : m
Displacement height : m
Time to open : min
Time to close : min
5.5 Bye Pass/Diversion Channel
Channel length : m
Canal width : m
5.6 Head Race Channel
Channel length : m
Channel width : m
Maximum discharge : m3/s
5.7 Tailrace Channel
Length : m
Width : m
6. Power House
(a) Type : Surface power house

(b) Gross Head : m


(c) Net Head : m

(d) Design Head : m
(e) Installed Capacity : kW
(f) Size : --- m x ---- m x--- m
(g) Machine Hall Floor Level :
(h) Erection Bay Floor Level :
7. Turbine
(a) Type :
(b) Number :
(c) Capacity : -----kW
8. Type of Generator
(a) Type : Synchronous

(b) Nos. :
(c) Capacity : ----- kW each
9. Tailrace Channel
(a) Length : ---- m

(b) Size : ---- m x ---m rectangular
10. Annual Energy Generation (in MU) : ---- MU at--% load factor
(a) Total Cost : Rs. -------- million

(i) Cost of Civil works : Rs. -------- million
(b) Cost of installation per kW : Rs.


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STANDARDS/MANUALS/GUIDELINES FOR

SMALL HYDRO DEVELOPMENT

Sponsor: Lead Organization:

AHEC-IITR, 1.4 General: Report Preparation: Reconnaissance, Prefeasibility, Feasibility/

Standards/ Manuals/Guidelines series for Small Hydropower Development

There are series of standards, guidelines and manuals available on electrical,

1. Mr. S.K. Tyagi, Consultant, Roorkee

1. Dr Arun Kumar,AHEC,IIT, Roorkee

TITLE PAGE NO.

REPORTS PREPARATION: RECONNAISSANCE, PRE-FEASIBILITY, FEASIBILITY/

2.0 RECONNAISSANCE REPORT 3

3.0 PRE FEASIBILITY REPORT(FORMAT) 4

4.0 FEASIBILITY/DETAILED PROJECT REPORTS (FORMAT) 5

Chapter 12 Contribution of Small Hydropower in Carbon-Di-Oxide 8

Chapter 13 Cost Estimates 8

5.0 AS BUILT REPORT (FORMAT) 9

Chapter 2 Implementation Arrangements 10

Chapter 3 Project History 10

Chapter 4 Evaluation of Implementation 11

4.5 Performance of Consultants / Contractors / Suppliers 12

4.6 Conditions and Covenants for Loan Agreement 12

Chapter 5 Environmental Impact 13

Chapter 6 Project Benefits 13

Chapter 7 Conclusion and Recommendation 13

7.3 List of Documents to be Annexed 14

TITLE PAGE NO.

Annexure-I Format of Check List 15

Reconnaissance visit of proposed project site

AHEC-IITR/MNRE/SHP Standards/ General Report Preparation: Reconnaissance, Pre-feasibility,

1.3 Description of Different Types of Reports

1.3.1 Reconnaissance report

The purpose of a site reconnaissance report is to gain an understanding of site

The site visit provides an opportunity to obtain an appreciation of site topography,

1.3.2 Pre feasibility report

A Pre-feasibility report is a document that provides preliminary details on the

1.3.3 Feasibility / detailed project report

AHEC-IITR/MNRE/SHP Standards/ General Report Preparation: Reconnaissance, Pre-feasibility,

1.3.4 As built report

2.0 RECONNAISSANCE REPORT

Reconnaissance report is required (a) to obtain an appreciation of site topography,

Location, climatic conditions and reference of the development etc.

General information, catchment area with elevations, proposal for topographical

Precipitation, snowfall and other available hydrological data.

Infrastructural facilities available and required facilities suggested for implementation

- CHAPTER-5 LOCATION OF CIVIL STRUCTURES

AHEC-IITR/MNRE/SHP Standards/ General Report Preparation: Reconnaissance, Pre-feasibility,

- CHAPTER-6 INSTALLED CAPACITY

Determination of head and discharge. Estimated installed capacity and number of

- CHAPTER-7 ENVIRONMENTAL IMPACT ASSESSMENT PRELIMINARY

General comments, resettlement and agricultural activities, deforestation required,

- CHAPTER-8 COST ESTIMATE PRELIMINARY

Broad Estimated cost and cost of generation.

Location Map, Catchment area plan, Schematic Layout,

3.0 PRE FEASIBILITY REPORTS (FORMAT)

Pre feasibility report should be prepared before taking up detailed investigations of

- CHAPTER-1 EXECUTIVE SUMMARY

- CHAPTER-2 GENERAL INFORMATION

2.1 Electricity Sector of India

- CHAPTER-3 INVESTMENT FOR SMALL HYDRO PROJECTS IN INDIA